Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kristen Marlene Race | 7217953 | 2 | 02/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ricardo Lisojo | 6926739 | 2 | 02/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edson Arroyo | 6431945 | 3 | 02/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Scott Kirschner | 2657758 | 6 | 01/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Victor Ludlum | 6368316 | 3 | 01/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renato Wilson | 7656027 | 2 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Watts Shumate | 7076212 | 6 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Watts Shumate | 7076212 | 6 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Watts Shumate | 7076212 | 6 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Watts Shumate | 7076212 | 6 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |